DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

F•••••• R••••••

L•• F•••••••• L••BD affiliatedLancaster, Ma dual registrantIAPD 5395510

Feed of 09/15/2026

Also filed as Francis M Randall

At current firm

1 y

since Oct 15, 2024

In the industry

18 y

since Sep 20, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Oct 15, 2024 · Worcester, Ma
E••••• J•••• national BD
Jul 7, 2022 to Oct 8, 2024 · North Grafton, Ma
P•••••••• S••••••••• I••• BD affiliated
Jul 1, 2020 to Jul 12, 2022 · Waltham, Ma
N•••••• G•••• C••••••••• L•• institutional
Dec 8, 2017 to Dec 5, 2018 · North Grafton, Ma
B•••••• C•••••• I•• former
Jul 22, 2015 to Sep 15, 2017 · North Grafton, Ma

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to L•• F•••••••• L••
left Oct 8, 2024, registered Oct 15, 2024 (7 days) · Affiliated broker-dealer or bank to another
P•••••••• S••••••••• I••• to E••••• J••••
left Jul 12, 2022, registered Jul 7, 2022 (-5 days) · Affiliated broker-dealer or bank to another
N•••••• G•••• C••••••••• L•• to P•••••••• S••••••••• I•••
left Dec 5, 2018, registered Jul 1, 2020 (574 days) · Other
B•••••• C•••••• I•• to N•••••• G•••• C••••••••• L••
left Sep 15, 2017, registered Dec 8, 2017 (84 days) · Other

Signals

F•••••• R•••••• left E••••• J•••• for L•• F•••••••• L•• (registered 2024-10-15)
Oct 8, 2024 · Advisor changed firm · fact
F•••••• R•••••• left P•••••••• S••••••••• I••• for E••••• J•••• (registered 2022-07-07)
Jul 12, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address